SMF Capital
Adrian Lawrence FCA, SMF CapitalAbout SMF Unlocked
SMF Unlocked is the podcast for anyone recruiting, holding, or thinking about taking on an FCA Senior Manager Function. Every episode unpacks a specific part of the Senior Managers and Certification Regime — what a designation like Chair, Chief Risk Officer, Compliance Oversight or MLRO actually requires, how the fit and proper test works in practice, and where boards and firms ... more
| Publishes | Daily | Episodes | 31 | Founded | 2 months ago |
|---|---|---|---|---|---|
| Number of Listeners | Categories | ManagementBusiness | |||
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Latest Episodes
Welcome to SMF Capital, specialist recruiters for senior management functions and compliance leadership.
Today we are looking at appointing a Chief Compliance Officer or Head of Compliance in an FCA-regulated business.
If your firm needs to recruit... more
Welcome to SMF Capital. In this episode, we look at fractional Compliance Officers and the SMF16 Compliance Oversight function: why regulated firms use fractional appointments, what the FCA expects and how to recruit the right individual.
For smalle... more
Welcome to SMF Capital, the specialist recruitment business for Senior Management Functions and senior regulatory appointments across UK financial services.
In this episode, we are looking at career opportunities for compliance officers, Heads of Co... more
Today we're talking about something slightly different from our usual discussions about senior compliance recruitment.
SMF Capital has created a growing library of free guides and practical resources for FCA-regulated firms, particularly smaller bus... more
Welcome to another episode from SMF Capital.
Today we're looking at something particularly practical for FCA-regulated firms: free compliance templates.
It's one thing to understand what the FCA expects. It's another thing to actually create the do... more
Welcome to another episode from SMF Capital. Today, we're looking at how insurance brokers can become directly authorised by the Financial Conduct Authority, the people they need in place, and how to prepare for the application process.
Whether you'... more
Welcome to another episode from SMF Capital, exploring the people and expertise required by FCA-regulated businesses.
Today, we're looking at CASS 5, the FCA's client money rules for insurance brokers and intermediaries. We'll explain the main requi... more
Welcome to the SMF Capital podcast.
Today we're looking at a question increasingly being asked by smaller and growing FCA-regulated firms:
Do you need a full-time Compliance Officer, or could an outsourced or fractional Compliance Officer provide t... more
Key Facts
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Audience Metrics
Listeners, social reach, demographics and more for this podcast.
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SMF Capital launched 2 months ago and published 31 episodes to date. You can find more information about this podcast including rankings, audience demographics and engagement in our podcast database.
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